10/06/2026 | Press release | Distributed by Public on 10/06/2026 16:12
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Second Restated Warrant (right to buy)(1) | $1.5 | 10/06/2026 | A | 4,500 | 10/06/2026 | 01/23/2031 | Common Stock | 4,500 | $1.5 | 4,500 | D | ||||
| Prepayment Restated Warrant (right to buy)(2) | $1.5 | 10/06/2026 | A | 458 | 10/06/2026(3) | 01/23/2031 | Common Stock | 458 | $1.5 | 458 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Pittman Scott M. C/O NUO THERAPEUTICS, INC. 8285 EL RIO, SUITE190 HOUSTON, TX 77054 |
X | X | ||
| /s/ David Jorden, attorney-in-fact | 10/06/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Represents Commitment, Origination Restated Second, and Capital Restate Second Warrants issued in connection with the assumption of a portion of an assigned funding commitment pursuant to the Assignment, Joinder, and Amendment No. 1 dated October 6, 2026 among the Issuer, the Reporting Person, and the other parties thereto (the "Amendment"), relating to the Amended and Restated Loan and Security Agreement dated May 29, 2026 (the "Loan Agreement"). The Reporting Person also holds a previously reported separate Second Restated Warrant that was issued and become exercisable on May 29, 2026. |
| (2) | Represents maximum number of shares issuable (if at all) in the event of a Prepayment in accordance with the Loan Agreement, issued in connection with the assumption of a portion of an assigned commitment pursuant to the Amendment. The Reporting Person also holds a previously-reported separate Prepayment Restated Warrant that was issued on May 29, 2026, subject to the same vesting provision set forth in footnote (3) immediately below. |
| (3) | Vesting (if at all) upon the occurrence of a Prepayment, but no later than December 31, 2027, in accordance with the Loan Agreement. |